| 15-02708 | 01/13/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory M. Starner
Respondent(s): Brian Docking, Donald Barry, Jill Docking, Kevin Mcwhorter, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Jonathan Miller
Arbitrator(s): Bill M. Lamoreaux, Bruce Burditt, John R. Loss
Hearing Site: Wichita, KS
| | |
| 14-03806 | 06/04/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Penne Stafford
Respondent Lawyers(s): Penne Wilson Stafford
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | |
| 13-03021 | 09/23/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Karla Bounds
Respondent Lawyers(s): Karla Renee Bounds
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | |
| 12-02000 | 10/01/2013 | Claimant(s): LaVerne Coalson, Coalson Insurance Trust U/A 7/9/99
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Donny Vogler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rodney J. Heggy
Arbitrator(s): Bill M. Lamoreaux, Linda B. Kelly, Frances Johnson Wright
Hearing Site: Dallas, TX
|  | $1,198,440 |
| 12-03039 | 06/04/2013 | Claimant(s): Paula Maar
Claimant Lawyers(s): Andrew J. Maar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | $5,605 |
| 12-03904 | 05/30/2013 | Claimant(s): Kantilal Desai
Claimant Lawyers(s): Kantilal P. Desai
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | $600 |
| 12-00827 | 11/29/2012 | Claimant(s): Carson Graves
Claimant Lawyers(s): Carson Graves
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Bill M. Lamoreaux, Robert E. Treadaway, Mayur Harshad Amin
Hearing Site: Dallas, TX
| | |
| 08-02503 | 01/21/2009 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Yana Gladtskov
Respondent Lawyers(s): Yana Gladtskov
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | |
| 06-00880 | 11/26/2007 | Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
| | |
| 06-03506 | 09/26/2007 | Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust
Claimant Lawyers(s): William O. Wuester
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil
Hearing Site: Dallas, TX
| | $0 |
